S-1 Filing and Compliance Issues

Filing an S-1 in anticipation of an IPO is an exciting time.  But ever wonder what happens during the one year BEFORE that date?  Everything from chaos, frustration, and fear, to surprise, joy and relief. Over the past few months, I have been involved with many companies who have filed an S-1.  The biggest headaches in the preceding months have been the "reconciliation" and "documentation" tasks.  A company really does not know what is amiss until the in-depth audit is upon them.  And at audit time, it is too late to try and put everything in order.

FRS Equity Strategies has posted a document to the ECE, the "IPO Transition Checklist", that describes what to consider and how to prepare for this important event.